RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T••••• C••••• C•••
- M••••••• I••••••••• A•••••••• L•• state registered currentsince Feb 21, 2013 · Show Low, Az
- P•••••• A•••••••• L•• formerJun 27, 2012 to Mar 26, 2013 · Scottsdale, Az
- A••••• F•••••••• P•••••••• I••• independent RIAFeb 11, 2011 to Oct 1, 2012 · Downers Grove, Il
- T•• A•••••••• L• formerJul 2, 2002 to Sep 25, 2003 · Austin, Tx
- Q•• F•••••••• L•• unclassifiedFeb 15, 2002 to Feb 11, 2011 · Chandler, Az
- P•••••• A•••••••• L•• to M••••••• I••••••••• A•••••••• L••left Mar 26, 2013, registered Feb 21, 2013 (-33 days) · Other
- A••••• F•••••••• P•••••••• I••• to P•••••• A•••••••• L••left Oct 1, 2012, registered Jun 27, 2012 (-96 days) · Other
- Q•• F•••••••• L•• to T•• A•••••••• L•left Feb 11, 2011, registered Jul 2, 2002 (-3146 days) · Other
- T•• A•••••••• L• to A••••• F•••••••• P•••••••• I•••left Sep 25, 2003, registered Feb 11, 2011 (2696 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address